CHAPTER II PERFORMANCE AUDIT PUBLIC WORKS ......Kerala PWD Manual, Revised Edition, 2012 Kerala PWD Quality Control Manual, 2015 Kerala PWD Quality Control Laboratory Manual, 2015

Chapter II - Performance Audit

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CHAPTER II

PERFORMANCE AUDIT

PUBLIC WORKS DEPARTMENT

2. Quality control measures in maintenance of roads by Public Works

Department

2.1 Introduction

The public roads in Kerala are maintained by the Public Works Department (PWD),

Local Bodies, Irrigation Department, Kerala State Electricity Board Limited, Forest

and Wildlife Department, Railways, etc. PWD roads constitute 15 per cent of the

total road network in the State and carry nearly 80 per cent of the total road traffic.

The Roads wing and National Highways (NH) wing of the State PWD undertake the

maintenance and quality control measures of the roads.

The Government of Kerala (GoK) introduced a three-tier quality monitoring system1

under clauses 2401 and 2406 of the Kerala PWD Manual, revised edition 2012 (PWD

Manual). Subsequently, for achieving the desired level of quality in public works as

envisaged in the PWD Manual, GoK also set up2 a Quality Control (QC) wing in the

Department with effect from 01 October 2013 and established testing laboratories in

all the districts. Quality Control test results in accordance with relevant

codes/standards were made mandatory for passing work bills of all works costing

more than ₹15 lakh. The Quality Control tests are to be carried out with reference to

the Ministry of Road Transport and Highways (MoRTH) specifications (Appendix

2.1).

In order to enable the engineers and supervisory staff to check the different activities

of construction with reference to the quality aspects and to ensure that the standards

envisaged were achieved, GoK issued (July 20153) an exclusive manual named the

Kerala PWD Quality Control Manual (QC Manual) incorporating provisions for

enhancing road safety. Every officer of the PWD entrusted with the execution of

public works is expected to follow the guidelines strictly in the discharge of duties.

Further, the PWD also issued4 PWD Quality Control Laboratory Manual (Laboratory

Manual) in July 2015 for guiding the engineers and technical staff of the Quality

Control Laboratories (QC Labs) and the field engineers on the procedures for

conducting quality control tests.

It is the responsibility of the State PWD to maintain the traffic worthiness of the road

networks throughout the year. The State has varying climatic conditions and

1The first tier quality control tests are to be conducted by the contractor at his own cost, the second tier tests by the

QC wing on random basis during execution of works and the third-tier tests to be done by technical experts after

completion of the project 2In terms of G.O (MS) No. 79/PWD/2013 dated 28/09/2013 3Vide G.O (Rt) No. 1339/2015/PWD dated 10/09/2015 4Vide G.O(Rt) No. 1346/2015/PWD dated 11/09/2015

Audit Report (Economic Sector) for the year ended 31 March 2018

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geographical patterns. There are high ranges and plains with varying temperature

between 10°Celsius and 40°Celsius. The State also witnesses two rainy seasons viz.

Southwest monsoon (June - September) and Northeast monsoon (October -

November). These factors necessitate appropriate quality control measures for proper

maintenance of roads.

The Quality Control wing is headed by Chief Engineer (Design) who is assisted by

Director (Investigation and Quality Control) under whom there are three regional

laboratories and 11 district laboratories. All the laboratories have the same function.

2.2 Audit Objectives

To examine whether,

➢ the system for implementing quality control measures was efficient during the

execution of works; and

➢ the quality control measures adopted in the maintenance of roads, including

road safety, were adequate and effective.

2.3 Audit criteria

The audit criteria were derived from:

➢ Kerala PWD Manual, Revised Edition, 2012

➢ Kerala PWD Quality Control Manual, 2015

➢ Kerala PWD Quality Control Laboratory Manual, 2015

➢ MoRTH/Indian Road Congress (IRC) specifications

➢ Orders/Circulars/Instructions issued by GoK and PWD

2.4 Scope and methodology of Audit

The Performance Audit was conducted from June to October 2018 and covered the

period from 2015-16 to 2017-18.

The sampling of units consisted of four5 Roads6 Divisions out of the 16 Divisions,

selected on the basis of stratified random sampling method and two7 NH Divisions

out of eight divisions, selected using simple random sampling method. Six out of the

14 QC Labs related to the selected Roads and NH Divisions were also taken in to the

selected sample. Audit scrutinised records relating to 282 road works costing ₹790.77

crore, of which 92 works cost more than rupees two crore each, 133 works cost

between ₹15 lakh and two crore and 57 works cost ₹15 lakh each or less. Audit also

5Thiruvananthapuram, Idukki, Palakkad and Kozhikode 6CE R&B is bifurcated into two separate offices of CE Roads and CE Bridges. The scope of the PA is

limited to Roads wing only 7Alappuzha and Muvattupuzha


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conducted 77 Joint Physical Verifications (JPV) of road sites including nine on-going works, along with officials of the PWD for assessing the effectiveness of the quality control measures in the maintenance of roads, including safety aspects.

In addition to these, Audit also covered offices of the PWD in the Government Secretariat, offices of Chief Engineers of Roads, National Highways, Designs and other related offices. An entry conference was held on 31 May 2018 in which the audit objectives, audit criteria, scope and methodology were discussed with the representatives of the Government/Department. The exit conference with the representatives of the Government/Department was held on 08 February 2019 to discuss the audit findings. The Government has not furnished reply despite several reminders (September 2019).

2.5 Audit findings

To keep the road network traffic worthy throughout the year, the quality of roads is to be ensured through Quality Assurance and Quality Control measures. This also includes adoption of appropriate methods for the execution and maintenance of road works.

There are three tiers of quality control tests. The first tier tests consisting of 37 types of tests are to be conducted by the contractor at his cost, either at the field lab or at an approved lab (for works costing ₹15 lakh or more). The second tier tests consisting of the same tests as in the first tier are to be conducted by the Quality Control Wing. The third tier (for works costing rupees five crore or more) is a review of the first and second tier tests, to be conducted by technical experts.

The audit findings are grouped under three categories, namely (i) Quality Control, (ii) Quality Assurance and (iii) Maintenance, including road safety.

2.5.1 Quality Control

Quality control encompasses the observation technique and activities used to verify that the products delivered are of acceptable quality and that they are complete and correct. It aims to identify defects in the finished products.

According to the PWD Manual and the QC Manual, quality control measures mainly consist of the conduct of first tier quality control tests at the cost of the contractor, setting up of field laboratory, conduct of second tier tests by the Quality Control wing of PWD, ensuring quality control during the execution and proper monitoring.

According to the MoRTH specifications, 37 types of quality control tests are required to be conducted for construction of roads, depending on the item of work and the quantity of work executed. Audit observed the following lapses in this regard:

2.5.1.1 Inadequacy of quality control tests in works costing above ₹15 lakh

First tier Quality Control tests are mandatory for all road works having estimated cost of more than ₹15 lakh. Out of the 282 works test checked, in 225 such works costing ₹784.73 crore, Audit noticed the following:


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In 99 works costing ₹355.13 crore, the first-tier tests conducted were limited toonly four tests consisting of sieve analysis, gradation of aggregate, bitumencontent and compressive strength of concrete.

In seven works costing ₹63.51 crore, in addition to the above, tests such asCalifornia Bearing Ratio (CBR) value, elongation and flakiness index, waterabsorption test, core density and specific gravity and spread rate of bitumen werealso conducted. The balance 119 works costing ₹366.09 crore did not have any ofthe first-tier quality control tests.

As this was a test audit in the sampled works in selected road divisions and the audit observation is of a nature that may reflect in other works not covered in test audit, Department may, therefore, like to internally examine the position in rest of the works with a view to ensure that requirements of quality control, as prescribed, are being met. The Department should take necessary remedial measures and also fix responsibility for the lapses in all such cases.

In the exit conference the Department stated that directives would be issued to enforce the first-tier quality control tests strictly in all works.

2.5.1.2 Non-establishment of field laboratory for works costing more than rupees two crore

According to the Government Circular8, contractors shall establish a field laboratory at the project site if the estimated cost of the project is above rupees two crore. As per the MoRTH specification 901.2, the contractor's laboratory shall be manned by qualified Materials Engineer/Civil Engineer assisted by experienced technicians and the set-up should be got approved by the PWD Engineer.

If the quality control tests are done in the field laboratory, the test results shall be signed by the Overseer/Assistant Engineer supervising the work and by the contractor. A copy of the test results shall be forwarded by the Assistant Engineer to the Assistant Executive Engineer/Executive Engineer for review.

Audit noticed that out of the 282 works test checked, the cost of 92 works exceeded the limit of rupees two crore; but field laboratories were set up by the contractors only in seven works costing ₹101.69 crore. There was no evidence of setting up of field laboratories by the contractors in respect of 85 works9 costing ₹611.85crore.

In the seven cases where field laboratories were set up, the required number of tests was not conducted and the required number of samples was not tested.

8 No. 23631/G2/2013/PWD dated 1/11/2013 9 Seven out of eight such works in NH Division, Alappuzha, 16 out of 17 works in NH Division, Muvattupuzha, 20 out of 21 works in Roads Division, Thiruvananthapuram; 11 out of 15 works in Roads Division, Kozhikode; 18 works in Roads Division, Idukki and 13 works in Roads Division, Palakkad


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Failure in setting up of field laboratories and non-conduct of the required tests is a compromise on the quality of works and an undue favour to the contractors to the extent of the expenses involved in the setting up of field laboratories, their manning and the cost of quality control tests.


2.5.1.3 Shortcomings in the conduct of second tier quality control tests

The Quality Control Wing is authorised to inspect and conduct Quality tests in all projects undertaken by the PWD including maintenance and repair works, irrespective of the estimated cost. Quality control tests as per IRC/MoRTH specifications/QC Manual are to be conducted depending on the item of work and the quantity of work executed.

Audit test checked 282 works and observed the following:

Second tier tests were conducted only in 85 works costing ₹495.32 crore.

In the entire works test checked, it was also noticed that the QC Labs conductedmostly four types of tests, viz. gradation of aggregates, binder content, sieveanalysis and compressive strength of cement concrete. Other essential tests likeassessing of viscosity using bitumen viscometer and assessing of dry density ofthe compacted layer using modified proctor compaction apparatus were notconducted even though the QC Labs had the required equipment.

This left the equipment idle and the quality tests conducted by the QC Labs inadequate. Inadequacy of tests affected the life expectancy of roads.

JPV revealed the following issues:

In the Bituminous Concrete sample taken10 during the JPV in Alappuzha district,bitumen content was found to be more than the tolerance limit given in the jobmix formula. Excess bitumen content caused bleeding of bitumen making theroad slippery.

Bituminous concrete surfacing in another road work11 under NH Division,Alappuzha was done without consolidation which created voids in the road andexposed the aggregates.

10IRQP from Chainage 0/000 km to 428/000 km in NH 66 in Alappuzha district 11CRF 2016-17 Improvements to Channavaly–Thiruvizha–Thuruthankavala-Kayippuram Road in Alappuzha district


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In another road work12 in Kozhikode district, the road surface close to a culvertsank due to improper compaction of sub base. Audit noticed that quality controltest to ascertain the density of the compacted layer was not done in the work.


2.5.1.4 Lapses in quality control during execution of works

Absence of proper job mix formula affecting the quality of road

Job mix formula is the end result of a successful mix design of recommended mixture aggregate and bitumen binder arrived at after various tests on materials. Its correct application ensures the life of the road.

The contractor is to submit the job mix formula before the commencement of work, after ensuring that it is based on a correct and truly representative sample of the materials that will actually be used in the work and that the mixture and its different ingredients satisfy the physical strength requirements. All the Bituminous Macadam (BM) and Bituminous Concrete (BC) works on roads shall be done by adopting job mix formula. A test check of 88 BM and BC works revealed the following:

Job mix formula of 15 works out of 48 workssubjected to second tier quality control testsby QC Labs varied from the approvedformula.

Bitumen VG 30 was used for laying BCoverlay in two works in place of NaturalRubber Modified Bitumen specified for theworks.

JPV of two works in Idukki13 andThiruvananthapuram14 districts revealed thatthe surface of the roads was damaged atmany locations within the Defect LiabilityPeriod (DLP). It was noticed that instead of submitting job mix formula suitablefor these works, the contractors adopted job mix formula of other works.

There was no evidence in the records to show that rectification works were carried out.

12Name of road: Cherooppa - Kuttikadavu Road 13NABARD RIDF- XXI improvements of Marika – Kolani Road 14Peroorkada - Manikanteswaram – Nettayam Road

Picture 1: Aggregates stripped off the BC surface of a road in Thiruvananthapuram district (photo taken on 04/10/2018)


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In the exit conference the Department confirmed that each work should have separate job mix formula and that adoption of job mix formula of other works affected the quality of work.

Non-maintenance of proper temperature of bitumen

As per MoRTH specifications, temperature of bitumen mix varies from 80°Celsius to 175°Celsius depending upon the grade of bitumen, stages of work, location of work and item of work.

Audit observed that

In six works executed under three Divisions15, the Quality Control wing found thetemperature of the bitumen mix used to be lower than the minimum temperaturerequired.

In a meeting (August 2018) held with contractors in the presence of Executive Engineer, Roads Division, Idukki, the contractors admitted that they used small mixing machines and carriage auto rickshaws to mix and carry the bitumen mix to the work sites and that due to the lower atmospheric temperature of Idukki district, the minimum temperature of bitumen mix could not be maintained. This reflected adversely on the quality of the roads.

There was no evidence in the records to show that any rectification work was carried out.

In the exit conference, the Department accepted the audit observations and stated that the issue in Idukki district would be solved in future as more road works would be executed using BM and BC.

Non conduct of Roughness Index tests

BM and BC were introduced in road works to improve the riding quality of roads. Failure to adhere to the specifications on mixing, laying and compaction of bituminous surface affects the riding quality. In order to assess the riding quality of the road, the contractors are to conduct Roughness Index Tests after completion of BC layer.

Audit noticed that out of 79 (13 NH and 66 Roads works) completed works of BM and BC, roughness index test was conducted only in six NH works.

No test was conducted in the 66 works costing ₹352 crore executed under Roads wing due to which the Department was unable to assess whether the specifications for mixing, laying and compaction of bituminous surface were correctly followed.

15Roads Divisions, at Thiruvananthapuram and Palakkad and NH Division, Muvattupuzha


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In the exit conference, the Department stated that direction would be issued to conduct the tests henceforth at the contractor’s cost. The Department need to ensure that the directions issued are followed by all concerned.

Non-conduct of third party tests wherever required

As per QC Manual 2015, third party test is carried out by an independent laboratory other than that of the contractor or the Department. This is required when certain specific tests cannot be carried out with the facilities available in the laboratory of the contractor or the Department.

Audit noticed that none of the six QC Labs selected for audit had the facility for conducting quality control tests of road safety items like road marking paints, sign boards, retro reflective sign boards, crash barriers, road studs, delineators, etc. Audit also noticed that first tier quality control tests of road safety items were not conducted in 55 completed works test checked. The Department should have insisted on conducting third party quality control tests in such cases. Instances of early damage to road safety items were noticed during JPV under three quality control Sub Divisions16.

In the exit conference the Department stated that the result of quality control test of items shall be called for before paying work bills in future.

Non deployment of qualified personnel by contractors at work sites

According to Section 2102 of the PWD Manual, in the case of works costing more than rupees two lakh, the contractor shall engage engineering personnel to ensure effective supervision.

JPV of the nine on-going works showed that engineering personnel of the contractor were not present during the execution of eight works. Audit also noticed the following lapses in quality control due lack of supervision:

At a worksite17 on the Thrissur-Shoranur Road where side drains were underconstruction, there was no supervision either by the Department or by thecontractor. As a result, cement concrete in the ratio of 1:2:4 was used instead ofadopting design mix of M20 grade as agreed in the contract.

At the site of another road work18 on NH 49, in the absence of supervision thecontractor executed 20 mm thick open graded chipping carpet using only onelayer of six mm aggregates instead of using two layers of 12mm and six mmaggregates. Skipping of one layer of 12mm affected the quality of work.

16Kozhikode, Alappuzha and Thiruvananthapuram 17PR. work 2017-18 improvements to Kodungallur - Shoranur Road using cement concrete drain at

chainage km 42/600 18Near Puthencruez Police Station in Ernakualm on NH 85 Madurai – Kochi Road 2018-19 urgent

patch repair from chainage km 202/000 to 274/000


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The Department may look into other similar cases and take action to rectify the

defects. Responsibility for the lapses may be fixed on the officials concerned.

During the exit conference the Department agreed that qualified personnel of the

contractor should be present at work sites and assured their presence at the work sites

in future. Non-ensuring of supervision by qualified persons affected the quality of

work adversely and benefitted the contractor.

Recommendation No.1: The Department may strengthen the quality control

mechanism by ensuring compliance with the provisions of quality control/PWD

Manuals and MoRTH specifications by the contractors.

2.5.2 Quality Assurance

According to the QC Manual, quality assurance is the planned and systematic

activities implemented in a quality system so that quality requirements for a

product/service will be fulfilled. Quality Assurance consists of inclusion of

mandatory quality control tests in the contracts, intimation of works to QC Labs for

the conduct of second tier quality control tests, identifying and empanelling of

approved laboratories for quality control tests, supervision and monitoring of work by

the Department. The lapses in this regard noticed by Audit are narrated in the

following paras:

2.5.2.1 Non-inclusion of list of mandatory quality control tests in the tender

and contract documents

According to Section 2103 of the PWD Manual, a list of mandatory tests should be

prepared and attached with the tender documents. This would help to ensure quality

control in the works, as contract conditions are legally binding on both the contractor

and the Department. Audit observed that the tendering authorities did not incorporate

the list of quality control tests and their frequency in the tender documents.

In the exit conference, the Chief Engineer (Roads) stated that the second phase of the

Project Information and Cost Estimation (PRICE) software scheduled to be

introduced in April 2019 would contain a provision for including the list of

mandatory quality control tests in the tender and contract documents.

2.5.2.2 Non-intimation of works

According to the QC Manual, the agreement authority shall forward a copy of the

contract documents to the Assistant Executive Engineer of the concerned QC Lab

within 10 days of executing the agreement. The Assistant Executive Engineer-in-

charge of the work shall ensure that the date of commencement of each item of work

is intimated to the QC Lab in a timely manner so that the second tier quality control

tests can be arranged by the QC Lab.

Audit observed that the four selected Roads divisions executed 2,557 works during

the period covered in audit, but agreement copy of only 683 works (26.71 per cent)


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were received in the respective QC Labs. Roads Division, Thiruvananthapuram

which executed 971 work agreements did not send any contract document to the QC

Lab. Out of 279 agreements intimated by two divisions19, 27 works were received in

the respective QC Labs after completion of the works. As a result, those works

escaped from the ambit of second tier quality control tests. Further, Audit also

noticed that the Quality Control Wing did not have a mechanism to monitor timely

receipt of contract details from the agreement executing authorities.

JPVs conducted by Audit revealed that the status of nine on-going works was not

intimated to the concerned QC Labs.

During the exit conference, the Chief Engineer (Designs) accepted the audit finding

and assured that the issue would be addressed on implementation of the second phase

of PRICE software which would include a module for monitoring the execution and

progress of works.

2.5.2.3 Absence of approved QC Labs to conduct first tier QC tests

According to the PWD Manual, all works executed by the PWD shall be tested in

laboratories approved by PWD and the expense thereof shall be borne by the

contractor. In case of any difference between the results of the first and second tier

tests or when certain specific tests cannot be carried out with the facilities available in

the laboratory of the Contractor/Department or when the results are suspected to be

manipulated, third party testing is to be carried out in another approved laboratory.

Audit noticed that the Department did not identify or empanel any approved

laboratory and that neither the selected divisions and QC Labs nor the office of the

Chief Engineer (Designs) which controls the Quality Control wing had a panel of

approved laboratories. As a result, the contractors depended on other sources for

conducting first tier quality control tests. The correctness of those test results was not

verifiable as those agencies were not liable to provide the details to PWD.

Audit found that the Department did not take quality control seriously even after six

years of implementing the revised PWD Manual 2012.

During the exit conference, the Department stated that a proposal to consider all

Government/Government aided Engineering Colleges as approved labs would be

submitted to the Government soon. This is indicative of the fact that the very basis of

quality control which is the first tier quality control tests was neither ascertained

affirmatively in the contract condition, nor was the requirement of quality control

considered as an integral part of the road works. The roads so constructed were thus,

devoid of the important quality control assurance and for such lapses responsibilities

need to be fixed on the officials responsible.

19Roads Divisions, Palakkad and Kozhikode


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2.5.2.4 Absence of periodic training on quality control

According to para 313.8 of the PWD Manual, periodic training on quality control

shall be given to the field officers to familiarize themselves with the various quality

control measures.

Audit noticed that this was not being followed by the Department as shown below:

• During 2016-17 no training was conducted by the QC Labs in

Thiruvananthapuram, Idukki and Alappuzha districts.

• The list of officials not trained in quality control as furnished by the Department

consisted of 343 technical staff, including Executive Engineers, Assistant

Executive Engineers, Assistant Engineers and Overseers who supervise and

monitor works in the field.

In the exit conference, the Department stated that training was an important aspect in

strengthening quality assurance of works and that training would be conducted at

regular intervals in future.

2.5.2.5 Circumventing the requirement of quality control tests by restricting

the cost of works

➢ Splitting up of works to escape the first tier quality control tests

According to the PWD Manual, all works executed by the PWD shall be tested in

PWD approved laboratories and the expenses thereon borne by the contractor. But, as

per QC Manual, 2015 first tier quality control tests are mandatory only for works

costing more than ₹15 lakh. Executive Engineer has the financial power to issue

Technical Sanction to works costing up to ₹50 lakh and execute contracts of such

works.

Audit noticed that 28 works relating to five Divisions having a total value of ₹8.16

crore were split into 63 small works of ₹15 lakh each or less. By doing so, those

works which were arranged on continuous stretches of roads during the period 2015-

16 to 2017-18 escaped from the ambit of first tier quality control tests.

During the exit conference, the Department accepted that it was not a good practice

as it would affect the quality and economy of the works.

➢ Necessity of quality checks by QC Labs (Tier II tests) at work sites

without prior intimation

According to QC Manual, the progress of all works being carried out is to be

intimated to the QC Labs. The Department did not comply with the requirement.

Further, officials of the Quality Control wing visited the work sites after giving prior

intimation. This made the contractors and the field staff vigilant and the quality

control tests conducted on those occasions always produced satisfactory results.


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JPVs conducted unannounced at nine on-going works revealed the following:

• In seven works, MoRTH specifications

were not observed.

• One work20 in Ernakulam district,

reported as completed on 31 May 2018

was still going on at the time of visit.

• In Palakkad district, the poor quality of

a cement concrete structure in a work21

gave it a honey comb like appearance.

The retaining wall of the road

constructed was not stable.

• The cement concreting of side drain going on at the site of a work22 in Thrissur

district was not intimated to the QC Lab. The findings of the JPV were at

variance with those observed by the Quality Control wing during their pre-

intimated quality checks, as mentioned in Table 2.2 below:

Table 2.2

Observations on quality control aspects in pre-intimated and un-intimated visits

conducted by the Quality Control wing at a work site

Components of

cement

concrete work

Observations made by QC

wing during the pre-intimated

visits to the work sites

Observation made during the JPV

on 24/09/2018 without intimation

Cement Major branded OPC grade

cement was used.

The properties of the brand of PPC

grade cement being used were

neither known nor tested for quality

by QC Labs.

Vibrator Vibrators were used. Vibrator was not used.

Mixer Cement concrete mixed in a

mixer for two to three minutes

for homogeneous combination.

Cement concrete was mixed for less

than two minutes.

Aggregates Aggregates of different grades

were kept in different heaps.

Aggregates were kept in one heap.

Supervision Technical staffs of both the

department and the contractor

were present at the work site.

No technical staff were present at

site.



20MLA ADS 2016-17- Improvements to Keezhillam - Manari Road by providing BM and BC between Chainage

0/000 km to 2/000 km 21Para – Karattukalam Road in Palakkad district 22RP work 2017-18 improvements to Kodungallur – Shoranur Road with cement concrete drain at Chainage

42/600 km

Picture 2: Improperly constructed retaining

wall of a road leaning inward in a work in

Palakkad district (photo taken on 29/09/2018)


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2.5.2.6 Lapses in supervision at work sites

Supervision is the act of monitoring an activity and making certain that everything is

done correctly.

➢ Inadequate supervision by departmental staff

According to Section 2103 of the PWD Manual, every work has to be properly

supervised to ensure that it is carried out in accordance with the required

specifications. The Overseer having control of a work shall be responsible for

maintaining the quality of all items of work. Certain important items of work shall be

supervised by the Assistant Engineer/Assistant Executive Engineer.

During JPV Audit came across four on-going works which did not have departmental

supervision.

• At one work site23 where a

departmental Overseer was present, the

construction of an Irish drain using

cement concrete mix of M20 grade was

carried out without using a vibrator to

ensure that the mix was free of air

bubbles and was even.

• In road works, the uniform application

of tack coat (bitumen) on the entire

surface is essential to ensure the

bonding of a new layer with the

existing surface. In a road work in

Ernakulam district24, the aggregates

were spread without applying bitumen

uniformly on the entire surface of the

road even though the Overseer of the Department was present at the site.

• Prime coat is a coat of bitumen emulsion required to be applied on a non-

bituminous layer before spreading a bituminous layer over it, for proper

bonding. This item was included in the work schedule of the contract, but the

Overseer at the work site was not aware of it. As a result, the work was

executed without doing the item. This lapse caused the aggregates to come off

the surface and revert the road to its damaged condition. Leaving the loose

aggregates on the road caused accidents to two wheelers.

23At Challikkal in Palakkad –Perinthalmanna Road 24Deposit work 2017-18, restoration work in Puthencruez - Brahmapuram Roadfrom Puthencruez

junction, Pannikuzhy OH tank to Karimugal near Community Hall

Picture 3: New bituminous layer laid on

non-bituminous surface without clearing

the loose soil and applying prime coat for

bonding caused peeling off of the new

layer (photo taken on 14/09/2018)


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Audit observed that the checklists mentioned in Appendices III to VI25 of the QC

Manual for concrete pour monitoring, earth work monitoring, non-bituminous sub

base/base layers and bituminous layer which were to be prepared by the technical

staff, especially the Overseer supervising the work, were not prepared. The

Department attributed the lapse to the heavy workload being faced by the staff during

working seasons.

The response of the Department is not acceptable as this indicated failure in the

optimum utilisation of available manpower. The Department may look into such

cases and take remedial action. Responsibility for the lapses may be fixed on the

officials concerned.

2.5.2.7 Absence of monitoring mechanism

The lapses in quality assurance measures mentioned above could have been

addressed through proper monitoring. Lapses were noticed in monitoring also as

narrated below:

➢ Non-review of quality control activities by Superintending Engineers and

Director (Investigation and Quality Control)

Review by higher officials is necessary to monitor and check any lapse/deficiency in

the quality control system. As per the Government Circular26 the Director,

Investigation and Quality Control (I&QC) shall conduct quarterly review of quality

control activities and submit recommendations to the Chief Engineer (Designs). The

Superintending Engineer shall also conduct quarterly review of implementation of the

two tier quality control system and forward reports to the Government under

intimation to the Chief Engineers and the Director (I&QC). The Chief Engineer’s

Committee shall give timely instructions for effective implementation of the quality

control system in the Department.

Audit noticed that the five selected Circle offices and the Director (I&QC) did not

conduct quarterly review of quality control activities and submit recommendations to

the Chief Engineer (Designs).

Non-compliance with the Government instructions on review and monitoring of

quality control activities by higher authorities weakened the quality control

mechanism.

In the exit conference, the Department stated that the second phase of PRICE

software scheduled to be implemented in April 2019 would enable review and

monitoring of quality control measures more effectively.

25 These appendices contain various information of an item of work executed so that quality of work

can be ensured through many parameters 26 No.10434/C3/2014/PWD (May 2014)


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➢ Payment of work bills without ensuring check list for quality control

monitoring

According to section 2214 of PWD Manual 2012, the work bill submitted for

payment shall be accompanied by quality control test results. Checklists for

monitoring quality control27 are to be furnished along with the work bills for making

payment to the contractor. They are a summary of the first and second tier quality

control tests conducted on various items of work and materials. It helps the divisional

authorities to take appropriate action before making payments.

Audit noticed that none of the work bills of 282 works test checked were

accompanied by check lists. Bills payments amounting to ₹595.23 crore were made

without ensuring conduct of quality control tests.

The Department, during the exit conference assured that steps would be taken to

ensure attachment of the checklists along with each work bill in future. The above

lapses points to the fact that the Departmental officials did not give any importance to

quality control.

➢ Daily/weekly/monthly reports of quality control tests not prepared

According to section 903.1 of MoRTH specifications, testing frequencies are to be set

forth28 and daily, weekly, monthly reports on test results shall be prepared by

departmental officials. The reports should indicate the location of sampling and

testing, deviation from the specified values for materials and works and remedial

action taken by the Contractor for removal of defective work. The Engineer shall

certify the test record stating that the tests were done in his presence and as per the

methodology prescribed.

Audit noticed that none of the six divisions test checked prepared such reports, which

indicated lapses in conducting the prescribed tests.

➢ Non conduct of tier three tests

As per PWD/QC Manual, third tier quality control tests (Technical Audit) for projects

costing more than rupees five crore shall be conducted by an external agency/expert

empanelled for the purpose within six months of the completion of a project. All tests

carried out in the first and second tier shall be reviewed during the technical audit.

Audit observed that, out of the 282 works test checked, 33 works costing ₹448.95

crore were of more than rupees five crore, but none of the works was subjected to

Technical Audit as envisaged, which resulted in non-review of the quality control

measures in those works.

27 Summary of quality control tests done and action taken on failed items prepared in Appendix I/II of Quality

Control Manual 28 Targets and achievements in respect of quality control tests


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During the exit conference, the Department stated that tier three tests would be ensured in works arranged through Kerala Infrastructure Investment Fund Board (KIIFB) fund. The Department should ensure that not only the works arranged through KIIFB but also all works costing more than rupees five crore are subjected to tier three tests.

Recommendation No.2: The Department may include a list of mandatory first tier quality control tests in the bid documents, ensure intimation of works to Quality Control wing and impart adequate training on quality control to the field staff.

2.5.3 Maintenance Strategy, including Road Safety

The maintenance of roads is an elaborate activity. It comprises maintenance of basic records as well as maintenance of structures including their inspection at prescribed intervals. The basic objectives of maintenance are to afford riding comfort, convenience and safety to the public. Even the good quality roads show signs of distress over a period of time due to the increasing vehicular traffic, changing climate and other reasons. Road maintenance on a regular basis is required to minimise these effects and to extend the life of the road. The PWD/Quality Control Manuals and IRC/MoRTH specifications describe the maintenance strategy of roads in detail.

Audit found that the Department did not carry out road maintenance works as prescribed in the Manuals and IRC/MoRTH specifications, as narrated below:

2.5.3.1 Non-maintenance of road chart

Section 2602.4.2 of the PWD Manual specifies that for each important road a road chart shall be maintained in the form given in Appendix 2600H which would give all the data about the history of renewal of surface of different sections of the road. This would help in the selection of reaches requiring renewal or special attention.

Audit observed that three out of the four Roads Divisions selected did not maintain a road chart. As a result, resurfacing work of many roads was not done for years. At the same time in three cases early resurfacing of roads and overlapping of works were noticed.

In the exit conference, the Department stated that the issue of road chart was expected to be resolved with the introduction of second phase of PRICE software.


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2.5.3.2 Use of unsuitable methods for maintenance works

As per Section 3004.1 of MoRTH specification adopted by PWD, the materials

(particularly patching and overlay materials) used in maintenance operations shall be

of a standard not less than those specified for the original

construction. Maintenance treatments required under the contract or instructed by the

Engineer may include pothole and patch repair, crack-sealing, fog spray, dusting,

slurry sealing, surface dressing, overlays and specialist repairs.

Use of unsuitable methods for road maintenance works compromises the quality of

roads and make them accident prone.

During JPVs irregular methods29 were seen used for maintenance works. In addition

to the above, Audit also found the following lapses in maintenance of roads:

• Pothole filling was done in two road

works30 using 36 mm metal without

using bitumen binder, in violation of

MoRTH specification.

• As per the contract specification of a

work31 in Kozhikode district, damages

to the road were to be rectified using

Wet Mix Macadam. Instead, the

rectification work was done using 36

mm metal, violating the contract

condition and MoRTH specification.

29 Such as earth filled potholes, oversized stone used for filling potholes, chipping carpet over BC

surface and cement concrete used for filling potholes in bituminous road were noticed in 11 Roads 30 Pre-monsoon works 2018-19 to Kodungalllur-Shoranur Road and Pre-monsoon works 2018-19 to

Cheruthuruthy-Ponnani Road 31 Flood damage work-Urgent pothole repair in Kattangal - Mavoor Road between chainage 4/000 km

to 7/400 km

Picture 4: Potholes filled with 36 mm aggregates

without cutting the potholes into regular shape

(photo taken on 24/09/2018)

Picture 5: Usage of 36mm aggregate for

bitumen levelling course in violation of GOK

stipulation (photo taken on 27/09/2018)

Picture 6: Detached loose aggregates from

filled up potholes being cleared by the public

due to improper method of construction

(photo taken on 24/09/2018)


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• GoK prohibited (February 2017) the use of 36 mm metal in levelling course

since it has voids. In a road work32 in Palakkad District, 36 mm metal was used

as levelling course disregarding the GoK direction.

• In Thrissur-Shoranur Road, at Mulloorkara Junction, the local people were seen

clearing loose 12 mm aggregates from the road using iron broom. People

expressed concern over the inferior quality of rectification work done. It was

stated that there were recurrent two-wheeler accidents due to skidding over the

loose aggregates.

• As per Specification 501.6 of the MoRTH, the wheels of roller machine shall be

in good working order, to prevent the mix from sticking to the wheels. Only

sufficient moisture to prevent adhesion between the wheels of the rollers and the

mix should be used. In a road work33 in Ernakulam district it was found that

excess water was being poured on the wheels of the road roller which flowed

down on the newly laid road surface which could cause early damage to the road.

• On a visit to the above road work, it was found that chipping carpet work was

going on over an existing bituminous concrete layer. As per the PWD norms,

chipping carpet was not to be laid over existing bituminous concrete.

Besides, a surprise inspection by the technical inspection wing of the Finance

Department on NH 66 in Alappuzha district revealed rectification works being

carried out using 36 mm aggregates and premix chipping carpet, instead of BM and

BC originally used in the work. The Chief Technical Examiner of the inspection wing

remarked that non usage of standard items not only damaged the new surface but also

damaged the old bituminous concrete layer.



2.5.3.3 Use of unsuitable items for road overlay works using open graded

premix chipping carpet

➢ Violation of MoRTH specification

MoRTH specifications were adopted in Kerala by PWD in October 2013, according

to which, bitumen overlay of Open Graded Premix Chipping Carpet34 (OGPC) work

was to be done using graded aggregates35. Audit observed the following violations:

32 Near Puthur junction in Kalmandapam –Kalpathy Road 33 Near Puthencruez Police Station in NH 49 34 OGPC is a two centimetre thick bituminous wearing course laid over old bituminous surface or over

Water Bound Macadam (WBM) surface, in which two grades of aggregates with binder content are

spread separately and each time compacted using road roller 35 Graded aggregate means using different size of aggregates so as to have a uniform consistency in

concrete


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• Under Roads Division, Idukki, out of 81 works test checked, 39 OGPC works

costing ₹26.44 crore were done using 12 mm and 6mm aggregates, instead of

graded aggregates.

• Further, a tack coat was to be provided using bitumen emulsion or bitumen

VG 10 as part of the chipping carpet work. Out of 81 works test-checked, in

24 works VG 30 was used instead of bitumen emulsion/VG 10 which

undermined the quality of work. During the meeting of contractors arranged

(August 2018) by the Executive Engineer at the instance of Audit, the

contractors confirmed that they used VG 30, pouring it like threads instead of

spraying it over the entire area.

Adoption of improper methods of work can reduce the life of the road constructed.

➢ Violation of GoK direction

GoK directed (February 2017) that OGPC shall be replaced with Close Graded

Premixed Chipping Carpet (CGPC)/Mix Seal Surfacing (MSS). Audit noticed that, 79

chipping carpet works arranged under Roads Division, Idukki did not adopt

CGPC/MSS even after issue of the Government direction.

During the JPV conducted in Idukki district, it was noticed that a 200 metre long

portion of road constructed (May 2018) using OGPC instead of CGPC between

chainage 55/000 km to 56/000 km of the Thodupuzha–Puliyanmala Road had peeled

off.

During the exit conference, the Department stated that CGPC had more life and

quality than OGPC and confirmed that in Idukki district OGPC was still being used in

road works as it was cost effective.

Cost effectiveness should not be allowed to prevail over the quality and life of roads.

2.5.3.4 Non conduct of timely maintenance

➢ According to the PWD manual, the Assistant Engineer/Overseer shall inspect

the roads under his control at least once a month and report on the condition of roads

for taking preventive maintenance. The frequency of this inspection shall be

increased during the monsoons and calamities.

Audit found no evidence of routine inspection conducted in any of the four selected

Roads Divisions. Absence of periodical inspections allowed initial defects like cracks

to go unnoticed and later to develop into potholes.

➢ Section 2601.1 of the PWD Manual states that road maintenance is required

on a regular basis to keep the effect of road distress to a minimum, to extend the life

of the road and to provide a high level of service to users. As per section 514.2 of

MoRTH specification, preventive maintenance measures such as micro surfacing may

be used as surface sealing treatment to improve skid resistance, surface durability and


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to seal fine and medium cracks on an existing pavement surface which is structurally

sound, but shows signs of premature ageing, aggregate loss, cracks etc.

JPV conducted in 77 reaches revealed the following:

• Cracks, the initial symptoms of road

damage, were seen in 12 road

reaches in Idukki36, Ernakulam37,

Thrissur38 and Palakkad39 Districts.

• Potholes/stripping of road surface

were found in 29 road reaches in

Thiruvananthapuram40, Alappuzha41,

Idukki42, Ernakulam43, Palakkad44 and

Kozhikode45 Districts.

Failure in rectification of minor cracks and other initial defects in time leads to

developing of potholes, causing hardships to road users and increase in the

maintenance cost.

In the exit conference, the Department stated that introduction of a separate

maintenance wing might help in improving maintenance activities of roads in the

coming years.

2.5.3.5 Arrangement of work during defect liability period

A Defect Liability Period (DLP) is a period of time following the practical

completion of a work during which the contractor remains liable under contract for

rectifying any defects which become apparent.

According to the agreement conditions, every time the Engineer gives notice of a

defect to the Contractor before the end of the DLP, the Contractor shall correct the

notified defect within the time specified in the notice. If the contractor has not

corrected the defect within the specified time, the Engineer will assess the cost for

correcting the defect and the contractor will pay this amount.

36 At many places between Paramada Junction and Cheruthoni Junction in Thodupuzha – Puliyanmala

Road 37 Between Manakkakadavu bridge and Pallikkara Junction in Ernakulam – Muvattupuzha Road 38 Between Vazhakode and Cheruthuruthi in Thrissur – Shoranur Road 39 Mundur – Koottupatha Road in Palakkad district 40 Perrorkada – Manikanteswaram – Nettayam Road 41 Chainage 368/000 to 387/300 km of NH 66 42 Chainage 2/600,3/300 and 3/400 km of Uppukunnu – Paramada Road 43 Valayanchirangara – Mannoor Road 44 Between Koottupatha and Para in Palakkad – Para – Pollachi Road 45 East Hill – Karaparamba Road in Kozhikode district

Picture 7: Potholes in front of Taluk

Hospital, Thuravur in NH 66


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Audit noticed that the Department awarded three new works costing ₹31.61 crore

during the DLP of three46 existing road works in order to rectify the inferior quality

of work done. It was also noticed that in respect of another work47 the Department

awarded eight new works costing ₹1.06 crore, immediately after the DLP of the

work.

The Department issued notices to contractors of three48 of the works during the DLP

of the works for rectification of defects, but they did not comply. Notice was not

issued to the contractor in respect of one work.49

In reply to an audit enquiry, the Superintending Engineer, North Circle, Kozhikode

stated that the expenditure incurred on rectification of defects of one50 work would be

recovered from the contractor concerned. No action was proposed or taken by the

Department in the other three cases.

In the exit conference, the Department accepted that new works were not permissible

during DLP. However, negligence of the departmental officials enabled the

contractors to compromise on the quality of works. Further the department did not

recover the cost of the defective work from the contractors in three works, and

incurred extra expenditure on correcting defects. Responsibility for lapses may be

fixed on the officials concerned.

2.5.3.6 Inadequacy/Absence of drainage

As per Section 1503.13 and 2407.19 of the PWD Manual, drains are an integral part

of roads and must be provided for all roads. They must be permanent structures and

must be properly maintained, considering the heavy

monsoon rains in the State. The main objective of drainage is to prevent early damage

46 One work each under Roads Divisions Palakkad-(A), Kozhikode-(B) and NH Division, Alappuzha-

(C) 47 Under NH Division, Alappuzha-(D) 48 Works (A), (C) and (D) 49 Work (B) 50 Work (A)

Picture 9: Lack of side drain caused water

logging preventing access to bus waiting shed

in NH 66

Picture 8: Lack of drainage caused water

logging and potholes, reducing the width of

carriageway in NH 66 (photo taken on

14/08/2018)


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to the pavement due to the entry of excess water and to

prevent saturation up to a depth of one meter below the top of the sub grade. Strength

and life of the pavement greatly depends on the moisture present in and below the

pavement. Performance and durability of the pavement is inversely proportional to

the quantum and duration of the presence of moisture in the road structure. Absence

of drainage facilities and improper construction of drainages lead to water logging

and damage of roads.

Audit noticed lapses in the maintenance of drainages in 18 road reaches visited

during JPVs which included issues such as water logging of roads and consequent

damage of road surface, non-construction of drainage/improper construction of

drainage, etc.

In one instance51, under Roads Division, Idukki, absence of flood water drainage

facility necessitated the reconstruction of a retaining wall and cement concrete drain.

The Department accepted that absence of proper drainages affected the quality of

roads and stated that fund shortage was a major concern in maintaining drainages and

shoulders.

2.5.3.7 Improper maintenance of shoulder

According to the PWD Manual, maintenance of shoulder is an important part of

maintenance activity so as to facilitate easy access and drainage. Audit noticed that

the Department did not take periodical action to maintain the shoulder except at the

time of carrying out resurfacing work.

During the JPV of 20 road reaches, Audit noticed lapses in the maintenance of

shoulders. The lapses consisted of non-maintenance of correct gradient of shoulder

which blocked the flow of rain water to the drain/caused drop at the edges of the

roads.

2.5.3.8 Lapses in road cutting and restoration works

According to the PWD Manual, for any work involving cutting of the PWD roads, the

organizations which request permission for cutting the roads themselves shall restore

the roads to their original condition within a stipulated time, under the supervision of

PWD.

Audit noticed the following lapses in this regard.

• Kerala Water Authority dug a portion of the NH 220 under NH Division,

Muvattupuzha without the permission of the PWD. The PWD demanded

₹2.84 crore which was not remitted by Kerala Water Authority.

51 FD - 2013-14 Construction of retaining wall and CC drain at eroded portion of Vellathooval-

Ponmudi Road at km 00/700 and km 01/200 (Agreement No. 316/EE/13-14 dated 19/09/2013)


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In Thrippunithura, immediately after completion of a road surfacing workusing BM and BC by the NH wing of PWD, the Roads wing grantedpermission for digging the road without consulting the NH wing.

In addition to the above, similar lapses were noticed during JPV of restoration works in 10 road reaches. The lapses included long delay in restoration of road surface to its original condition after road cutting, restoration of road surface using non-compacted 36mm aggregates instead of bituminous overlay specified by MoRTH, improper restoration of road leading to settlement of the restored portion, trenching of hilly area roads along the filling side instead of the cutting side and formation of potholes due to unattended pipe leakage.


Recommendation No.3: The Department may strengthen the road maintenance system by preparing and maintaining Road Charts and by ensuring that the maintenance activities are carried out in compliance with MoRTH and GoK stipulations.

2.6 Conclusions

Review of the quality control system revealed that the Department was not able to implement the quality improvement programme satisfactorily due to the following:

The Department did not ensure setting up of field labs, continuous monitoringof quality, proper supervision and monitoring of works. Performance of the Quality Control wing was poor and the departmental supervision of works was inadequate. These lapses defeated the benefits envisaged by the introduction of the quality control system and compromised on the riding quality of roads.

Picture 10: Unattended restoration works after laying of pipelines reduced the width of carriage way(photo taken on 07/09/2018)

Picture 11: Unattended pipe leakage caused pothole in newly resurfaced road (photo taken on 07/09/2018)


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The Department failed to include mandatory Quality Control tests in thecontract documents, to intimate contracts/ progress of work to Quality Control wing and to identify and empanel approved labs for conducting quality control tests. The Department also diluted the MoRTH specifications for road works. As a result, quality assurance of works could not be ensured.

The Department did not maintain road charts, did not follow the maintenancestrategy for timely identification and rectification of defects and did not adopt a preventive maintenance strategy. Unsuitable materials and improper methods were adopted for road maintenance. This affected the quality and life of roads adversely.

The drainage systems of roads were inadequate and were not maintainedproperly. Improper maintenance of shoulder of roads coupled with lapses in road cutting and restoration works reduced the life and usability of roads, necessitating frequent repairs and maintenance.

Departmental lapses in ensuring quality assurance and quality control in the maintenance of roads resulted in compromising of value for the money spent on the sampled 282 works worth ₹790.77 crore examined by Audit. The objective of ensuring quality control in road works was thus, defeated due to the lackadaisical approach of the Department. As this was a test audit in the sampled works in selected road divisions and the audit observation is of a nature that may reflect in other works not covered in test audit, Department may, therefore, like to internally examine the position in rest of the works with a view to ensure that requirements of quality control, as prescribed, are being met. The Department should take necessary remedial measures and also fix responsibility for the lapses in all such cases.

Documents

CHAPTER II PERFORMANCE AUDIT PUBLIC WORKS ......Kerala PWD Manual, Revised Edition, 2012 Kerala PWD Quality Control Manual, 2015 Kerala PWD Quality Control Laboratory Manual, 2015